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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Earl Smith has been in the financial services industry since February 20, 2011. William Earl Smith is currently registered with Raymond James & Associates, Inc. in Louisiana and Texas. William Earl Smith is also registered as an Investment Advisor Representative in Louisiana and Texas. Previously, William Earl Smith was employed by WELLS FARGO CLEARING SERVICES, LLC. William Earl Smith holds licenses for Series 7, 9, 10, 66, and SIE. William Earl Smith has passed exams for General Securities Representative Examination, General Securities Sales Supervisor - Options Module Examination, General Securities Sales Supervisor - General Module Examination, Uniform Combined State Law Examination, and Securities Industry Essentials Examination. William Earl Smith specializes in portfolio management for individuals and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
LA
04/30/2021 - Present
Raymond James & Associates, Inc. (Ruston LA)
LA
02/21/2011 - 04/21/2021
WELLS FARGO CLEARING SERVICES, LLC (RUSTON LA)
BOTH
Issued 03/11/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/21/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/24/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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